Compliance Analyst

Company Description

Kingswood Group U.S. is a leading wealth management and investment banking firm with a strong presence in the San Diego Metropolitan Area. The firm manages $14 billion in assets globally across the U.S. and U.K., providing a wide range of services to ensure success for its clients. With a commitment to trust, innovation, and excellence, Kingswood Group U.S. is known for its expertise in financial services.

Role Description

This is a full-time hybrid role for an entry level Compliance Analyst at Kingswood U.S. The Compliance Analyst will be responsible for day-to-day tasks related to regulatory compliance, including analyzing and interpreting regulations, conducting audits, and ensuring adherence to industry standards. The role is primarily located in the San Diego Metropolitan Area but allows for flexibility to work remotely.

Qualifications

• Knowledge of financial industry
• Analytical skills to assess and interpret complex regulations
• Excellent communication skills to effectively communicate compliance requirements
• Attention to detail and ability to work with confidential information
• Ability to work independently and collaboratively in a team
• Professional certification in compliance or related field is a plus
• SIE exam, series 7 and Series 24 preferred or ability to obtain within 6 months